The promise of lucrative and rapid profits in virtual currency trading, including its derivatives, has attracted a high number of investors who may not understand the unique and potentially significant risks involved. The NFA (National Futures Association) has released statements, … Read More
On episode 21 we discuss the National Futures Association (“NFA”) board’s recent released rules via the Interpretive Notice 9073 – Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities. We also do a deep dive into the NFA Rulebook.
On this week’s episode of the CCO Buzz we discuss a recent issue regarding independent contractor and employee classification, noting that firms need to keep this matter top of mind as 2018 progresses.
On this week’s episode of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She provides a few helpful considerations for firms to keep top of mind as they prepare for Q4 and the upcoming new year. She … Read More
On this week’s episode of the CCO Buzz we discuss the hot topic of Cybersecurity and the value of Cybersecurity Training and Mentorship in today’s evolving industry.
A broker-dealer’s internal Policies and Procedures for keeping accurate and up-to-date records of compensation, travel, gifts, and entertainment expenditures, including audio files, are an essential part of a firm’s books and records requirements.
In June 2018, California Governor Jerry Brown signed the CA Consumer Privacy Act of 2018 into law. In this episode of the CCO Buzz, CEO Michelle Jacko explains the major provisions within the legislation and offers key considerations financial institutions … Read More
CEO Michelle Jacko picks up where she left off on our two-part series covering the Senior Safe Act. In this segment, she covers the integral definitions, training requirements and other essential know-how regarding the reporting process, under the Senior Safe … Read More
In this week’s episode, we have Core Compliance’s CEO Michelle Jacko diving into the complexities of the Senior Safe Act and proper protocols, to best prepare for an SEC examination.
The SEC (Securities and Exchange Commission) Whistleblower Program, created in the wake of the 2008 financial crisis as part of the Dodd-Frank Act, has been nothing short of success (at least, from the standpoint of regulators and whistleblowers). Since its … Read More